On December 11, 2013, WealthManagement.com ran Patrick Mahoney’s latest editorial, FINRA’S Proposed Changes to the Broker Expungement Process, as part of his periodic column, The Legal Rep. A link to the article is available HERE. The article’s content is available below: In April 2012, FINRA released Regulatory Notice 12-18, which features FINRA’s proposed overhaul of […]
